Appendix 5

Communities Directorate Risk Register 2014/15

The following risks form the Communities Directorate Risk Register. These will now be added to Covalent along with associated action plans, where
appropriate.

Risk actions will be allocated to officers and will be reported on a quarterly basis to the Communities Senior Management Team.

Code Risk Short Name Overall Risk Action

(cov) Risk Score Appetite Score Plan
Potential impact of changes to ER/VR scheme 16 12 Y
Reduction in level of planned maintenance to property estate 16 6 Y
Customer/Community dissatisfaction to service redesign 12 9 Y
Poor communication within directorate 9 9 Y
Unable to achieve Scottish Housing Quality Standard (SHQ) by 2015 9 9 Y
Carbon reduction and energy targets not met 9 9 Y
Outsourcing of services resulting in loss of work/fees 9 8 Y
Counter Fraud - Audit Report 11/04 6 6 Y
IDENTIFIED RISKS/RISK ACTION PLAN: Risk Owner Communities SMT Page 1 of 16
Risk Appetite 12
Section A – Identified Risk

Risk Description Potential impact of changes to ER/VR scheme

Ability to achieve identified staff savings as a result of changes made to the ER/VR scheme from 1 July 2014.

Actions/Controls already in place

 Age profiling across directorate
 Annual Workforce Planning Reviews
 Discussion at one-to-ones/annual appraisals
 Directorate will require to continue with the moritorium on permanent posts to ensure flexibilty if redesign identifies staff for redeployment – who
may previously have indicated an interest to be considered for ER/VR

Likelihood Potential Impact

 Staff will no longer be as willing to be considered for ER/VR due
to changes
 Directorate will have to consider the potential of staff becoming
supernumerary with results of downgrading, redeployment or
compulsory redundancy
 Not achieving required savings
 Not able to implement succession planning as opportunities
blocked
 Disenchantment of staff
 Staff may choose to uptake flexible retirement as an alternative to
ER/VR resulting in prevention of forward planning

Likelihood Score: 4
Potential Impact Score: 4
Overall Risk Score: 16
 Page 2 of 16

Section B – Risk Action Plan

Actions/Controls to reduce Likelihood/Potential Impact

Action Responsibility Target Date Success Criteria Comment

Corporate review of People Strategy may Head of HR Tbc Clear route for staff/management
assist long term workforce planning identified
Consider as part of budget setting process All Managers 30 Where staff savings have been Cost of redundancy can be
November identified, Service Leads will know excessive and may hinder
2014 if redeployment/redundancy achievement of the saving
require to be considered element
As part of service redesigns, compulsory CSMT 31 March Required to meet the redesign Forced action
redundancy/redeployment necessary 2015 targets as volunteers not
forthcoming
Ensure ongoing communication with staff ECSMT 31 March Staff are aware of all options as
throughout redesign process 2015 redesigns progressed
IDENTIFIED RISKS/RISK ACTION PLAN: Risk Owner Head of Technical and Page 3 of 16
Property Services
Risk Appetite 6 (3x2)
Section A – Identified Risk

Risk Description Reduction in level of planned maintenance to property estate

Insufficient resources in the corporate property maintenance fund to deliver client demands for both planned and reactive maintenance of the non-
housing estate.

Actions/Controls already in place

 Three year budgeting enables forward planning, identifying reduction in resources available
 Asset plans for each building updated through periodic inspections
 Business Continuity Plans (to be finalised)
 Property Asset rationislation
 Development of agile/mobile working

Likelihood Potential Impact

 Reduced budgets with identified defects and essential  Closure of building with impact on service delivery (school/offices)
maintenance already underfunded;
 Unplanned/reactive works increasing (County Buildings electrical  Media interest
problems; Medway hut) as planned maintenance programmes
reduces
 Age and condition of council property assets relatively old/poor  Reputation
 “Temporary” accommodation long past design life (Medway  In extreme potential injury or death of public/service user/staff
huts; Extensions at Ravenswood/County Buildings etc) (Edinburgh School wall collapse) potential Corporate Manslaughter
 Potential civil claims

Likelihood Score: 4
Potential Impact Score: 4
Overall Risk Score: 16
 Page 4 of 16

Section B – Risk Action Plan

Actions/Controls to reduce Likelihood/Potential Impact

Action Responsibility Target Date Success Criteria Comment

Complete work on Business Continuity Plans Ken Brown March 2015 BCP plans in place Carry over revenue budget
for loss of major property (School; County allocation from 2013/14
Buildings etc)

Continue asset rationalisation/ new build Ian March Rationalisation of assets with
programme Cochrane/Trans- 2018(end of overall improvement in property
forming Angus/ 3 year risk portfolio, reducing risk of
School estate window) unplanned event
Mobile/Agile working project Transforming March Reduced dependency on
Angus 2018(end of physical buildings
3 year risk
window)
Establish priority based budgets – ensure Ian Cochrane Feb 2015 Sufficient planned maintenance
budget sufficiency for planned (budget funding
maintenance as established by asset plans process)
and contingencies for unplanned
maintenance
Ensure Developed School Management People On going Maximising expenditure on
budgets are appropriately focussed and Directorate property maintenance
prioritised
IDENTIFIED RISKS/RISK ACTION PLAN: Risk Owner Communities SMT Page 5 of 16
Risk Appetite 9
Section A – Identified Risk

Risk Description Customer/Community dissatisfaction to service redesign

Service re-designs may reduce service provision leading to customer and community dissatisfaction.

Actions/Controls already in place

 Sound workforce planning
 Well established financial management and budget monitoring
 Clear plans in place identifying service direction

Likelihood Potential Impact

 Customers having unrealistic expectation of what can be
delivered within timescales
 Workforce not working with management to ensure proposed
changes to services are deliverable
 Insufficient resources available to undertake the reviews required
to identify clear areas for redesign
 Increased customer Complaints through
ACCESSLine/Media/Elected Members
 Negative publicity for the directorate/council
 Decrease in standard of service delivery
 Increased workload to deal with changes to services and customer
complaints

Likelihood Score: 3
Potential Impact Score: 4
Overall Risk Score: 12
 Page 6 of 16

Section B – Risk Action Plan

Actions/Controls to reduce Likelihood/Potential Impact

Action Responsibility Target Date Success Criteria Comment

Weekly SMT meetings CSMT 31 March A reduction in complaints arising

2015 from service redesign
Budget planning and monitoring CSMT 31 March Clarity of savings proposals and
arrangements 2015 arrangements for service redesign
Clear reporting arrangements to the CSMT 31 March Communications team are aware
communications team 2015 of possible issues arising and can
field any media enquiry’s
Clear statement of service standards CSMT 31 March All service will follow a corporate
2015 model demonstrating clear service
standards that will be monitored
and reported publically
IDENTIFIED RISKS/RISK ACTION PLAN: Risk Owner Strategic Director Page 7 of 16
Risk Appetite 9
Section A – Identified Risk

Risk Description Poor communication within directorate

Poor communications within Directorate.

Actions/Controls already in place

 Calendar of meetings set throughout year for EMT, CMT, CSMT, ECSMT and CMF (Communities Managers Forum)
 Appraisal process/cascade breif embeded within the Directorate
 IiP Assessment (already identified clear/achievable improvement areas)

Likelihood Potential Impact

 Vision of Directorate not being clear throughout the workforce  Staff moral low resulting in not feeling valued
 Directorate structure not being clear  Service not being translated to the customer effectively
 Planning process not being understood  Erroneous information in domain
 Managers not using tools available to cascade information  Non achievement of IiP
 Appraisals/Cascade Brief not happening  Higher turnover

Likelihood Score: 3
Potential Impact Score: 3
Overall Risk Score: 9
 Page 8 of 16
Section B – Risk Action Plan

Actions/Controls to reduce Likelihood/Potential Impact

Action Responsibility Target Date Success Criteria Comment

Develop a communication strategy within CSMT 31 Improvement cascade within the

the directorate December Directorate
2014
Maximise the use of SharePoint as an Business 30 Assist employees with information Corporate, Directorate and
information source throughout directorate. Improvement September being in one format and location divisional minutes of meetings
Team 2014 and other key documents
Review membership of internal groups to Business 31 March Staff empowerment Staff to be encouraged to
ensure essential people involved Improvement 2015 participate
Team
Revamp and implement communities wide Business 31 Consistency throughout
Training/IiP Group Improvement December Directorate
Team 2014
Produce and implement an IiP Business 31 Consistency throughout
Improvement Plan Improvement December Directorate
Team 2014
Strategic Director to do staff bulletins 3 to 4 Strategic Director 30 Sept 2014 Ongoing dialogue Business Improvement Team will
times per year distribute via SharePoint
Identify avenues to ensure clear Business/ 31 March Workarounds will require to be Bespoke solutions required
communication with staff who do not have Corporate 2015 identified for varying business units
access to intranet Improvement
Team
Await introduction of staff recognition Corporate 31 Consistency across Directorate/
scheme, allowing directorate to have Improvement December Council
formal mechanism to acknowledge staff Team 2014
achievements
Encourage use of Bright Ideas allowing staff All Managers 30 Sept. Use of corporate resource requires Feedback will help shape
the opportunity to put forward suggestions 2014 to be utilised service delivery/redesign
IDENTIFIED RISKS/RISK ACTION PLAN: Risk Owner Head of Technical and Page 9 of 16
Property Services
Risk Appetite 9
Section A – Identified Risk

Risk Description Unable to achieve Scottish Housing Quality Standard (SHQ) by 2015
Unable to achieve Scottish Housing Quality Standard (SHQ) by 31 March 2015.

Actions/Controls already in place

 Existing programme of works for both office and housing stock, particular:

 Gas heating installation programme are progressing, with completion targets of 31/3/2015
 Design and tendering work is progressing to improve stock in off-gas grid areas, again with a completion target of 31/3/15

Likelihood Potential Impact

 Failure of Housing stock reaching SHQS compliance by 31/3/2015  Reputational impact on Council

Likelihood Score: 3
Potential Impact Score: 3
Overall Risk Score: 9
 Page 10 of 16

Section B – Risk Action Plan

Actions/Controls to reduce Likelihood/Potential Impact

Action Responsibility Target Date Success Criteria Comment

Monitor and manage gas heating and off K Brown March 2015 Completion of all works by Ongoing through regular Project
gas grid programmes to ensure completion 31/3/2015. Progress meetings with Housing
of works by 31/3/2015
Ensure EPCs are provided for properties K Brown March 2015 EPCs are provided for all affected Project handover procedure includes
affected by energy efficiency works properties before 31/3/2015 a requirement for EPC provision
Ensure Northgate property elements are G Balfour March 2015 Property elements are up to date Data cleansing and updating exercise
kept updated with current SHQS by 31/5/2015 is progressing in Housing
performance. Data acquired from project
completion certificates and stock survey
results
Any exemptions to the Scottish Housing G Balfour March 2015 Exemption evidence is complete Evidence collecting exercise is
Quality Standard are suitably evidenced by 31/5/2015 ongoing in Housing
IDENTIFIED RISKS/RISK ACTION PLAN: Risk Owner Head of Technical and Page 11 of 16
Property Services
Risk Appetite 9
Section A – Identified Risk

Risk Description Carbon reduction and energy targets not met

Arrangements not sufficiently well development to meet legislative obligations for carbon reductions and EU directives on energy performance of
buildings.

Actions/Controls already in place

 Carbon emissions for the CRC footprint being established:-

 Carbon emissions for Council non-housing properties to be established
 Energy management strategy:-
 Delivering reductions but counterbalanced by increasing use of ICT and similar equipment
 Good housekeeping practices to be established, maintained and supported.
 Existing asset data and knowledge of energy performance of current property assets (EPCs; asset plans)

 Asset rationalisation takes into account energy use and looks to remove inefficient buildings

Likelihood Potential Impact

 Inability to fulfil the CO2 reduction strategy  Series of CO2 reduction targets not met
 Fulfilment of carbon reduction commitment in jeopardy

 Major increase in the cost of carbon allowances by 2020 if emissions

are not significantly mitigated

Likelihood Score: 3
Potential Impact Score: 3
Overall Risk Score: 9
 Page 12 of 16
Section B – Risk Action Plan

Actions/Controls to reduce Likelihood/Potential Impact

Action Responsibility Target Date Success Criteria Comment

Continue to develop management Ian Cochrane 31 March Robust management Lead Officer – Ian Lingard
arrangements at corporate and local level 2015 arrangements at corporate and
supported by EMU to fulfil the CRC local level established Carbon Management Action
obligation Plan report submitted to April
2013 Strategic Policy Committee.

Carbon reduction action plan

submitted to June 2013
Corporate Services committee
Maintain accreditation to the new Carbon Ian Cochrane 30 Re-accreditation achieved Lead Officer – Ian Lingard
Trust standard in preparation for the CRC December
scheme implementation 2014

Update and co-ordinate actions with local Ian Cochrane 30 Cohesive strategic programme Lead Officer – Ian Lingard
authority carbon management December operational
programme and Climate Change strategy. 2014 See Risk 23 Action 1
Ensure StS and works projects make major Ken Brown 31 March End of Year environmental Lead Officer – Ian Lingard
contributions to the EM strategy 2015 performance report demonstrates
good progress Ongoing. StS and ItS
programmes to be developed
and submitted for approval at
Committee.
Ensure EPCs are provided for properties K Brown 31 March EPCs are provided for all affected Project handover procedure
affected by energy efficiency works 2015 properties before 31/3/2015 includes a requirement for EPC
provision
Monitor changes in EU and national K Brown 31 March Changes to legislative obligations Lead Officer – Ian Lingard
legislation associated with energy 2015 accommodated within adjusted
performance of buildings and adjust strategy and resources It is understood that the Scottish
strategy and resources to suit Government is intending modifying
existing legislation to integrate EPOB
duties and proposed EU
amendments into a much more
demanding regime which will
require active investment in all
council buildings to improve their
performance. This cannot be
contained within existing resources
IDENTIFIED RISK / RISK ACTION PLAN: Risk Owner: Alastair Wilson Page 13 of 16
Risk Appetite: 8
Section A – Identified Risk
Risk Description Outsourcing of services resulting in loss of work/fees
The council through the outsourcing of services does not fully consider the impact in loss of staff experience and income. Expectations of Elected Member are
not met and agreed budget decisions are not fully realised.
Actions/Controls already in place
 Services have been leased or transferred to third parties to deliver services on behalf of the council with specifications and service level agreements
already developed.
 There are areas already identified through the budget setting process.
 Transforming Angus (TA) is looking at major projects – longer term, larger potential savings. (e.g. Leisure and Cultural Trust)
 Role of Corporate Management Team and Policy & Budget Strategy Group (PBSG) in developing priority based budgeting.
 Developing plans to further improve stakeholder engagement in the establishment of Council priorities and the associated budget setting process.
Likelihood Potential Impact
 The Transforming Angus programme is being looked to as the  Spend is not allied to priority or objectives.
main driver for change in terms of savings, efficiencies, channel  Budget issues arise which require to be resolved on a fire fighting basis.
shift and reshaping of services. This only covers major projects.

 Alternative methods of delivery impact severely on workloads,  Revert to salami slicing of budgets.
budgets and staffing levels within other council services  Savings and efficiencies are not realised.
 Adverse media publicity.

 Lack of clear unit costing can prevent divisions future planning for
budgets, service delivery and staffing levels
 Members will be required to debate and agree non-priority
services within the context of SOA, statutory requirements and
the council plan
 Service user dissatisfaction – we do not successfully understand the voice
of the customer.
 Significant strategic withdrawal decisions would be required from
members as a consequences of a move to priory budgeting

Likelihood Score: 3
Potential Impact Score: 3
Overall Risk Score: 9
 Page 14 of 16

Section B – Risk Action Plan

Action/controls to reduce Likelihood/Potential Impact

Action Responsibility Target Date Success Criteria Comment
Ensure financial resources are directed to Heads of Service 31 March The Council avoids all the undesired If the gap between the
delivering key outcomes and provide clarity 2015 impacts listed above required and actual
on work/services which are to be ceased or resources is too great, even
deferred to allow this to happen in practice to deliver only key
outcomes then this action
will be insufficient

Communities will put in place a monitoring ECMT for their areas 31 December Communities savings monitoring Head of Corporate
regime for agreed budget savings which will 2014 reports submitted to the Policy & Improvement & Finance
be reported to the Policy and Budget Budget Strategy Group will collate updates for
Strategy Group PBSG from information
provided by CMT
Complete the work being undertaken for the Head of Corporate 31 March High level understanding of how our
Angus Community Planning Partnership on Improvement & 2015 budgets align to outcomes
resource mapping to outcomes as part of Finance/ Head of available to inform future budget
development of priority based budgeting Planning and Place decision making

Undertake community engagement to Head of Corporate 31 December Linking to Corporate Risk Register
establish their priorities and use this to inform Improvement & 2014 and corporate plans
budget decisions Finance/ Head of
Planning and Place

Identify the services which are considered ECMT 31 August Demand led services
non-statutory, non-priority or low priority and 2015
develop a strategy to reduce financial
commitment to these services considering
SOA, statutory and corporate needs.
 Page 15 of 16
IDENTIFIED RISKS/RISK ACTION PLAN: Risk Owner Communities SMT
Risk Appetite 6
Section A – Identified Risk

Risk Description Counter Fraud - Audit Report 11/04

The risk of fraud and corruption should be considered as part of each department’s risk register. Per Audit Report 11/04.

Actions/Controls already in place

 Robust adherence to Financial Regulations
 Corporate Governance Questionnaire and Assusrance Statement completed rigorously/timeously
 Staff aware of all policies relating to fraud
 Past breaches have resulted in changes to working practices

Likelihood Potential Impact

 Low – rigorous controls embedded across directorate  Failure to achieve adherence to regulations
 Loss of reputation to council
 Instigation of disciplinary procedures against staff
 Loss of income to council

Likelihood Score: 2
Potential Impact Score: 3
Overall Risk Score: 6
 Page 16 of 16

Section B – Risk Action Plan

Actions/Controls to reduce Likelihood/Potential Impact

Action Responsibility Target Date Success Criteria Comment

Timetable of prompts to distribute Business 31 When carried out this will ensure This action prompt will be
instructions to staff have been set in place Improvement December dissemination of information to monitored and can be
and will utilise Communities SharePoint site. Team 2014 relevant/all staff expanded on for other criteria as
appropriate.
Confirmation that Directorate has adhered Strategic Director 31 March This is dealt with as part of the Although signed off on an
to fraud guidelines as part of the Corporate 2015 annual corporate governance annual basis this is monitored
Governance Questionnaire and Assurance process throughout the financial year
Statement (Internal Financial Control)
Ensure managers are carrying out induction Business 31 March No apparent breaches Business Improvement Team
of staff covering Financial Regulations and Improvement 2015 carry out spot checks
the Anti Fraud and Corruption Strategy Team
Compliance to corporate induction All Managers 31 March All relevant induction processes Includes e-learning modules
element covering Financial Regulations within 2014 completed
Communities